Compliance Analyst (Temp)

2 Minutes ago • 1-3 Years

Job Summary

Job Description

The Trade Surveillance Analyst (temp) will conduct account activity reviews, including trading, deposit and withdrawal, and public domain activity, to determine if the activity aligns with IBKR policy. They will also advise management by collecting, analyzing, and summarizing data and trends, prepare regulatory filings, contribute to streamlining current processes and identifying areas for improvement, and review trading data for suspicious activity or patterns of unusual trading. This role requires strong analytical and problem-solving skills, as well as excellent collaboration and communication abilities.

Must have:

Strong product knowledge of equity or derivatives markets.
High degree of comfort with computers and technology.
Excellent oral and written communication skills.
Detail-oriented with outstanding organizational skills.
Ability to work independently and in a team.

Good to have:

ACAMS, CFE, CFCS, Series 7, or other FINRA licenses or certifications a plus.

Perks:

Daily company lunch allowance provided.
Fully stocked kitchen with healthy options.
Corporate events, including team outings, dinners, volunteer activities and company sports teams.
Modern offices with multi-monitor setups.

7 skills required

7 skills required for this role

Add these skills to join the top 1% applicants for this job

data-analytics

communication

innovation

hedge-funds

internal-audit

timeline-management

team-management

Job Details

Company Overview

Interactive Brokers Group, Inc. (Nasdaq: IBKR) is a global financial services company headquartered in Greenwich, CT, USA, with offices in over 15 countries. We have been at the forefront of financial innovation for over four decades, known for our cutting-edge technology and client commitment.

IBKR affiliates provide global electronic brokerage services around the clock on stocks, options, futures, currencies, bonds, and funds to clients in over 200 countries and territories. We serve individual investors and institutions, including financial advisors, hedge funds and introducing brokers. Our advanced technology, competitive pricing, and global market help our clients to make the most of their investments.

Barron's has recognized Interactive Brokers as the #1 online broker for six consecutive years. Join our dynamic, multi-national team and be a part of a company that simplifies and enhances financial opportunities using state-of-the-art technology.

About INTERACTIVE BROKERS!
This is a hybrid role (three days in the office/two days remote).

Interactive Brokers Group has been consistently at the forefront of trading innovation, starting with the invention of the first floor-based handheld computer in 1983. We pride ourselves on being primarily a technology company and challenging the status quo. We push boundaries to offer our clients the best trading platform with the most sophisticated features at the lowest cost. Software development is the lifeblood of our firm, and it shows in our stellar brokerage platform. Interactive Brokers is regularly recognized as a leader in the financial services industry.

Interactive Brokers is looking to hire two Trade Surveillance Analysts (temps) for a six-month assignment in its Chicago, Illinois, office. This entry-level position has excellent growth potential for highly motivated and exceptional performers. Analysts will report to a Compliance Manager and help ensure the firm complies with the Bank Secrecy Act, USA PATRIOT Act, anti-terrorist financing, sanctions, industry anti-money laundering, and securities laws and regulations.

Day-to-day responsibilities include:

Conducting account activity reviews, including trading, deposit and withdrawal, and public domain activity, to determine if the activity aligns with IBKR policy.
Advising management by collecting, analyzing, and summarizing data and trends.
Preparing regulatory filings.
Contribute to streamlining current processes and identifying areas for improvement.
Review trading data for suspicious activity or patterns of unusual trading.

The ideal candidate will have 1-3 years of regulatory compliance experience working for an exchange, a regulatory organization, a broker-dealer (BD), a futures commission merchant (FCM) or a similar organization. Alternatively, experience in internal audit, legal, accounting, or other control functions of a financial services firm or regulator would be beneficial. Absent direct industry experience, we will also consider applicants with excellent bachelor ’s-level educational credentials, some background in finance, economics, data analytics, or similar areas, and strong analytical and quantitative skills.

Qualifications, Skills & Attributes:

Strong product knowledge of equity or exchange-traded derivative markets’ or, preferably, both
High degree of comfort and fluency with computers and technology and understanding of how technology is applied to business and regulatory problems
Excellent oral and written communication skills
Detail-oriented with outstanding organizational and project management skills
Ability to work both independently as well as in a small-team environment and to multi-task with minimal supervision
ACAMS, CFE, CFCS, Series 7, or other FINRA licenses or certifications a plus

To be successful in this position, you will have the following:

Self-motivated and able to handle tasks with minimal supervision.
Superb analytical and problem-solving skills.
Excellent collaboration and communication (Verbal and written) skills
Outstanding organizational and time management skills

Company Benefits & Perks

Daily company lunch allowance provided, and a fully stocked kitchen with healthy options for breakfast and snack
Corporate events, including team outings, dinners, volunteer activities and company sports teams
Modern offices with multi-monitor setups